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PRACTICE MANAGEMENT JUL 17, 2014
Follow the lead of top performing firms to boost business development

Creating a marketing plan and having a consistent story are good starting points for most advisers, Fidelity survey finds.

PRACTICE MANAGEMENT JUL 17, 2014
Redesigned ChFC mark aims to top CFP education

The organization's Craig Lemoine says redesigned coursework makes ChFC designation more relevant to practitioners.

RIAS JUL 17, 2014
Steward hits $1 billion in recruited assets with new $315 million team

Year-old RIA backed by Raymond James making a splash with former Morgan Stanley brokers

BROKER DEALERS JUL 17, 2014
Former rep indicted in $2.5 million investment fraud

Patricia Miller promised clients high yields if they went into “investment clubs.”

BROKER DEALERS JUL 17, 2014
Ex-John Thomas hedge fund manager loses bid to toss SEC case

BROKER DEALERS JUL 17, 2014
Independent broker-dealer a magnet for brokers from troubled firms

Thirty-one of 37 brokers at IAA Financial, partly owned by Finra board small firm rep Kevin Carreno, came from firms Finra had expelled.

PRACTICE MANAGEMENT JUL 17, 2014
Advisers support CFP Board scrutiny of compensation definitions but still worry about fee-only labels

React to plan to compare pay details in planners' profiles to information about their comp available in regulatory filings and on firm websites.

EQUITIES JUL 17, 2014
European economic growth disappoints, adding pressure to the ECB strategy

On the menu for today's <i>Breakfast with Benjamin</i>, European economic growth falls short of economists' expectations, plus news on Citigroup, ETFs and much more.

FINTECH JUL 17, 2014
Renovate your social media profile

Here are five things you can to make over your social media profile.

FINTECH JUL 17, 2014
7 steps to finding prospects on LinkedIn

Many advisers have created a LinkedIn profile, have a few contacts but then have gotten lost in the daily grind and forgotten to use LinkedIn the way it was intended. LinkedIn is the place for businesses to connect, but how many connections do you have with potential clients?

RIAS JUL 16, 2014
SEC keeps fiduciary promises vague for 2015

Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.

BROKER DEALERS JUL 16, 2014
Opinions on bull market split following most recent run-up

After the S&amp;P 500 reaches new heights, new questions surface on whether the market is headed up or down.

PRACTICE MANAGEMENT JUL 16, 2014
Advisers need to act on client communication plans

Important ingredients are regular feedback and inclusion of family members in outreach.

OPINION JUL 16, 2014
How advisers will communicate with clients in five years

Video conferencing, text messaging and more robust online services will define the way advisers interact with clients in the future.

PRACTICE MANAGEMENT JUL 16, 2014
Morgan fined $1 million in retired-broker snafu

Wirehouse slapped with fine after Finra alleged it paid retired brokers $100M in commissions without making sure they had stopped providing advice.

OPINION JUL 16, 2014
Five steps to protect your wealth after you sell your company

You can keep your personal finances from taking a back seat to the transaction, but your window of time is limited after you sign a letter of intent

FINTECH JUL 16, 2014
How technology affects your firm's value

Four key questions to assess your readiness for a merger or acquisition.

BROKER DEALERS JUL 16, 2014
7 biggest ways top-performing firms sustain their growth

The fastest-growing and most profitable firms often take unconventional approaches to their business models. To see how your firm stands up, <a href=&quot;http://www.investmentnews.com/2014fp&quot;>take part in this year's study</a>.

BROKER DEALERS JUL 15, 2014
Edward Jones sponsors college-credit course to prep students for Series 7 exam

Course will be offered to financial and nonfinancial majors to offer them a taste of the advice profession.

RIAS JUL 15, 2014
Why some brokers stand by commissions

Some brokers say the math in moving to a fee-based model just doesn't add up for clients.